S••••• S•••• J•••••

• R•••••• J•••• • A••••••••• I••• national BD current
  since Feb 13, 2013 · Little Rock, Ar
• M••••• K••••• • C••••••• L•• former
  Aug 30, 2007 to Feb 13, 2013 · Little Rock, Ar
• M••••• S•••••• • C•• L•• unclassified
  Apr 2, 2007 to Aug 22, 2007 · Little Rock, Ar
• M••••• S•••••• D• I••• unclassified
  Apr 26, 2006 to Apr 2, 2007 · Fayetteville, Ar

• M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••
  left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move
• M••••• S•••••• • C•• L•• to M••••• K••••• • C••••••• L••
  left Aug 22, 2007, registered Aug 30, 2007 (8 days) · Other
• M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••
  left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Source

IAPD individual compilation feedreportedadviserinfo.sec.gov

Firm class

National broker-dealer RIAderived

Years in industry

21derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address